Filing Details

Accession Number:
0001144204-10-018081
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-04-01 13:00:00
Reporting Period:
2010-03-31
Filing Date:
2010-04-01
Accepted Time:
2010-04-01 16:58:00
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
351903 Epoch Holding Corp EPHC Investment Advice (6282) 201938886
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1293770 N David Pearl Epoch Holding Corporation
640 Fifth Avenue, 18Th Floor
New York NY 10019
Executive Vice President No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2010-03-31 3,245 $11.50 524,609 No 4 S Direct
Common Stock Disposition 2010-04-01 21,500 $11.50 503,109 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 500,000 Indirect By GRAT
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Employee Stock Options (Right to Buy) $6.17 2016-01-30 37,114 37,114 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2016-01-30 37,114 37,114 Direct
Footnotes
  1. The sale reported was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in July 2007, as amended.
  2. The options will vest in three equal installments as follows: 12,371 options on January 31, 2010; 12,371 options on January 31, 2011, and 12,372 options on January 31, 2012, subject to continued employment with the Company on the applicable vesting dates.
  3. Upon vesting, the options to acquire shares of the Company's Common Stock are exercisable only if the volume weighted average price of the Company's Common Stock shall equal or exceed $9.25 for a period of at least 20 trading days on Nasdaq Global Select Market (subject to customary adjustments in the event of any change in the outstanding common stock of the Company by reason of any stock dividend, stock split or other corporate exchange or any extraordinary distribution to shareholders of the Company).
  4. This transaction was executed in multiple trades at prices ranging from $11.50 to $11.53. The price reported above reflects the weighted-average sale price. The reporting person hereby undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transactions were effected.
  5. This transaction was executed in multiple trades at prices ranging from $11.50 to $11.54. The price reported above reflects the weighted-average sale price. The reporting person hereby undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transactions were effected.